Search for: "Matter of Mallon"
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13 Oct 2011, 4:29 pm
Bart Mallon can be reached directly at 415-868-5345. [read post]
8 Oct 2011, 9:45 am
**** Cole-Frieman & Mallon LLP provides a variety of services including: hedge fund formation, advisor registration and counterparty documentation, CFTC and NFA matters, seed deals, internal investigations, operational compliance, regulatory risk management, hedge fund due diligence, marketing and investor relations, employment and compensation matters, and routine business matters. [read post]
27 Sep 2011, 2:05 am
Bart Mallon can be reached directly at 415-868-5345. [read post]
2 Sep 2011, 7:34 pm
Cole-Frieman & Mallon LLP provides a variety of services including: hedge fund formation, advisor registration and counterparty documentation, CFTC and NFA matters, seed deals, internal investigations, operational compliance, regulatory risk management, hedge fund due diligence, marketing and investor relations, employment and compensation matters, and routine business matters. [read post]
24 Aug 2011, 2:47 am
Additional requirements typically include state and local taxes, payroll and other employment matters and city business licenses. [read post]
23 Aug 2011, 7:19 am
Bart Mallon can be reached directly at 415-868-5345. [read post]
7 Aug 2011, 1:06 pm
He routinely works with managers who trade commodities and futures on corporate and regulatory matters. [read post]
27 Jul 2011, 5:01 am
Cole-Frieman & Mallon LLP provides advice on a broad range of corporate, regulatory and litigation matters including hedge fund formation, adviser registration, CFTC and NFA matters, ISDAs and counterparty documentation, loan trading and distressed debt transactions, seed deals, employment and compensation matters and regulatory inquiries. [read post]
25 Jul 2011, 2:59 am
. **** Cole-Frieman & Mallon LLP is a law firm which provides advice hedge fund managers on state registration and compliance matters. [read post]
19 Jun 2011, 6:17 pm
It is important to look at the supervisory chain of command–an individual must be registered, no matter how high he/she is on the supervisory chain of command. [read post]
9 Jun 2011, 5:32 pm
Murphy Secretary June 8, 2011 **** Bart Mallon is an attorney with a practice focused on hedge funds and investment adviser registration. [read post]
25 Apr 2011, 2:40 am
Bart Mallon can be reached directly at 415-868-5345. [read post]
11 Apr 2011, 2:28 pm
As part of the Hedge Fund Networking Summit Webcast Series, Bart Mallon of Mallon P.C. led an hour long presentation on compliance matters for California based hedge fund managers. [read post]
15 Mar 2011, 6:21 pm
“Lite-Touch” Regulatory Approach for Certain CFTC Registrants In general, CFTC registered CPOs and CTAs must adhere to certain disclosure and reporting requirements as specified in the Commodity Exchange Act (“CEA”) and regulations thereunder. [read post]
22 Feb 2011, 6:44 pm
Please note our new address: Mallon P.C. 150 Spear Street, Suite 825 San Francisco CA 94105 [read post]
18 Jan 2011, 6:13 pm
Bart Mallon, Esq. [read post]
21 Nov 2010, 11:53 pm
If you are relying on this section, you shall not be deemed to be holding yourself out generally to the public in the United States as an investment adviser, within the meaning of section 202(a)(30) of the Act (15 U.S.C. 80b-2(a)(30)), solely because you participate in a non-public offering in the United States of securities issued by a private fund under the Securities Act of 1933 (15 U.S.C. 77a). **** Bart Mallon, Esq. is a hedge fund attorney and providers legal services to hedge fund… [read post]
4 Oct 2010, 2:01 am
April – July 2011 (planned) During this time the SEC will be adopting finalized rules (taking into account public comments on the proposed rules) with respect to the following matters: reporting obligations on investment advisers related to the assessment of systemic risk exemption from registration for advisers to venture capital firms “family office” definition transition of mid-sized investment advisers (between $25 and $100 million in assets under management) from SEC… [read post]
28 Sep 2010, 9:08 am
Many of the points below are quite good and focus on the business and operational matters of running a fund which are very important. **** Is there a certain background that is helpful to be a hedge fund manager? [read post]
20 Aug 2010, 2:14 am
Bart Mallon, Esq. [read post]
